AdvisorGrade
Fee-basedFiduciaryLocal

Stone Oak Capital LLC

Stone Oak Capital LLC is a fee-based, SEC-registered investment adviser in Rochester, New York, registered with the SEC since 2026. As an SEC-registered adviser it is held to a fiduciary standard. Its exact fee schedule and account minimums are disclosed in Form ADV Part 2A.

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Source: SEC Form ADV · CRD #341363 · SEC #801-135940 · SEC-registered since 2026 (0 yrs) · Last filing data January 1, 2026

AUM
Not reported

as of 2026

Fee model
Fee-based

per Form ADV 5.E

Clients
Not reported

Form ADV 5.C — may be institutional

Employees
2

2 advisers

Overview

AI-generated summary

Stone Oak Capital LLC is a fee-based, SEC-registered investment adviser based in Rochester, New York. It did not report regulatory assets under management on its most recent Form ADV. The firm reports one or more disclosure events on Form ADV Item 11 — see the disclosures section below.

This summary is generated from Form ADV data and may not capture all nuances. Always review the complete SEC filing before making decisions.

Firm details

CRD #
341363
SEC #
801-135940
Headquarters
Rochester, NY
Employees
2

Clients served

Client types not reported on this filing.

Fees & compensation

  • Compensation model: Fee-based — the firm reports client fees and may also receive commissions on certain products.
  • Typical fee range: See Part 2A. Exact advisory fee rates are reported in Form ADV Part 2A, not Part 1.
  • Account minimum: See Part 2A. Minimums are disclosed in the firm's Part 2A brochure.
  • Custodial, trading, and fund expenses may apply in addition to advisory fees. See the firm's Form ADV Part 2A for the complete fee schedule.

Disclosures

  • 2026 · Self-regulatory organization disclosure

    Stone Oak Capital LLC reported one or more matters in this category on Form ADV Item 11. Form ADV Part 1 indicates that a disclosure exists but not its outcome; review the full Disclosure Reporting Pages on the SEC IAPD record for details and resolution.

  • Detailed, AI-summarized breakdowns of each event are being rolled out across the directory. For now, review the full Disclosure Reporting Pages on the SEC IAPD record.

Frequently asked questions

Is Stone Oak Capital LLC a fiduciary?+

Yes. Stone Oak Capital LLC is an SEC-registered investment adviser (CRD #341363), which means it is held to a fiduciary standard and must act in its clients' best interest. Verify its current status on the SEC's Investment Adviser Public Disclosure (IAPD) site.

How is Stone Oak Capital LLC compensated?+

Stone Oak Capital LLC reports a fee-based compensation model on its Form ADV. Fee-based advisers charge client fees and may also earn commissions on certain products. Exact fee rates and account minimums are disclosed in the firm's Form ADV Part 2A brochure.

How much money does Stone Oak Capital LLC manage?+

Stone Oak Capital LLC did not report regulatory assets under management on its most recent Form ADV. See the SEC IAPD record for details.

Does Stone Oak Capital LLC have any disclosures?+

Stone Oak Capital LLC reported one or more disclosure events on Form ADV Item 11 (self-regulatory organization disclosure). A disclosure is not by itself a finding of wrongdoing; review the full Disclosure Reporting Pages on the SEC IAPD site.

This profile is generated from publicly available SEC filings. Stone Oak Capital LLC has not verified or endorsed this information. Last updated from filings: January 1, 2026. View the official filing at SEC IAPD.

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